Western Cape: Informal settlements status - researCh reports research series published by the housing development agency - The Housing ...

 
Western Cape: Informal settlements status - researCh reports research series published by the housing development agency - The Housing ...
Western Cape: Informal
settlements status

       research reports

research series published by the Housing Development Agency
Western Cape: Informal settlements status - researCh reports research series published by the housing development agency - The Housing ...
WESTERN CAPE    research report

         The Housing Development Agency (HDA)
         Block A, Riviera Office Park,
         6 – 10 Riviera Road,
         Killarney, Johannesburg
         PO Box 3209, Houghton,
         South Africa 2041
         Tel: +27 11 544 1000
         Fax: +27 11 544 1006/7

         Acknowledgements
         • Eighty 20

           Disclaimer
           Reasonable care has been taken in the preparation
           of this report. The information contained herein
           has been derived from sources believed to be
           accurate and reliable. The Housing Development
           Agency does not assume responsibility for any
           error, omission or opinion contained herein,
           including but not limited to any decisions made
           based on the content of this report.

         © The Housing Development Agency 2012
Western Cape: Informal settlements status - researCh reports research series published by the housing development agency - The Housing ...
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                                                                WESTERN CAPE   research report

Contents
  Part 1: Introduction                                                                4

  Part 2: Data sources                                                                5
  2.1 Survey and Census data                                                          5

  2.2 Other Data from Stats SA                                                        9

  2.3 National Department of Human Settlements (NDHS) and LaPsis                      9

  2.4 Eskom’s Spot Building Count (also known as the Eskom Dwelling Layer)            9

  2.5 Community Organisation Resource Centre (CORC)                                  10

  2.6 Provincial data: Western Cape                                                  11

  2.7 Municipal data: City of Cape Town                                              11

  Part 3: The number and size of informal settlements in
  the Western Cape                                                                   14
  3.1 Estimating the number of households who live in informal settlements           14

  3.2 Estimating the number of informal settlements                                  17

  Part 4: Profiling informal settlements in the Western Cape                         19
  4.1 Basic living conditions and access to services                                 19

  4.2 Profile of households and families                                             21

  4.3 Income, expenditure and other indicators of wellbeing                          22

  4.3.1 Income                                                                       22

  4.3.2 Expenditure                                                                  23

  4.4 Age of settlements and permanence                                              23

  4.5 Housing waiting lists and subsidy housing                                      26

  4.6 Health and vulnerability                                                       26

  4.7 Education                                                                      28
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         WESTERN CAPE   research report

         Contents
                 Part 5: Profiling informal settlements in the City of Cape Town   29
                 5.1 Basic living conditions and access to services                29

                 5.2 Profile of households and families                            31

                 5.3 Employment                                                    31

                 5.4 Age of settlements and permanence                             32

                 5.5 Education                                                     32

                 Part 6: Conclusions                                               33

                 Part 7: Contacts and references                                   34

                 Part 8: Appendix: Statistics South Africa surveys                 35
                 8.1 Community Survey 2007                                         35

                 8.2 General Household Survey                                      35

                 8.3 Income and Expenditure Survey 2005/6                          36

                 8.4 Census 2001                                                   36

                 8.5 Enumerator Areas                                              36
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                                                      WESTERN CAPE   research report

List of abbreviations
  CORC       Community Organisation Resource Centre
  EA         Enumeration Area
  GHS        General Household Survey
  GIS        Geographical Information Systems
  GTI        GeoTerraImage
  HDA        Housing Development Agency
  HH         Households
  IES        Income and Expenditure Survey
  LaPsis     Land and Property Spatial Information System
  NDHS       National Department of Human Settlements
  PSU        Primary Sampling Unit
  Stats SA   Statistics South Africa
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         WESTERN CAPE        research report

         part 1

         Introduction
                 In terms of the HDA Act No. 23, 20081, the Housing Development Agency (HDA), is mandated
                 to assist organs of State with the upgrading of informal settlements. The HDA therefore
                 commissioned this study to investigate the availability of data and to analyse this data relating to
                 the profile, status and trends in informal settlements in South Africa, nationally and provincially
                 as well as for some of the larger municipalities. This report summarises available data for the
                 Western Cape province.

                 1
                     The HDA Act No.23, 2008, Section 7 (1) k.
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part 2

Data sources
    A number of data sources have been used for this study. These include household level data from
    the 2001 Census and a range of nationally representative household surveys. Settlement level
    data was also reviewed, including data from the City of Cape Town, various national data sources
    including the National Department of Human Settlements, the Housing Development Agency
    and Eskom as well as provisional data based on a recent study commissioned by the province.

    There is no single standard definition of an informal settlement across data sources, nor is there
    alignment across data sources with regard to the demarcation of settlement areas. It is therefore
    expected that estimates generated by various data sources will differ.

    It is critical when using data to be aware of its derivation and any potential biases or weaknesses
    within the data. Each data source is therefore discussed briefly and any issues pertaining to the
    data are highlighted. A more detailed discussion on data sources is provided in the national report
    on informal settlements prepared for the HDA.

    2.1 Survey and Census data
    Household-level data for this report was drawn from various nationally representative surveys
    conducted by Statistics South Africa including 2007 Community Survey (CS)2, the General
    Household Survey (GHS) from 2002 to 2009 and the 2005/6 Income and Expenditure Survey
    (IES)3. In addition, the study reviewed data from the 2001 Census4.

    The census defines an informal settlement as ‘An unplanned settlement on land which has not
    been surveyed or proclaimed as residential, consisting mainly of informal dwellings (shacks)’.
    In turn, the census defines an ‘informal dwelling’ as: ‘A makeshift structure not erected according
    to approved architectural plans’. In the 2001 Census all residential Enumeration Areas (EAs)5
    are categorised as one of Informal Settlements, Urban Settlements, Tribal Settlements or Farms.
    In addition, dwellings are categorised as either formal dwellings6 or informal dwellings, including
    shacks not in backyards, shacks in backyards and traditional dwellings. There are therefore two
    potential indicators in the 2001 Census that can be used to identify households who live in
    informal settlements, one based on enumeration area (Informal Settlement EA) and the other
    based on the type of dwelling (shack not in backyard).

    2
      T he Community Survey is a nationally representative, large-scale household survey. It provides demographic and socio-economic information such as
       the extent of poor households, access to facilities and services, levels of employment/unemployment at national, provincial and municipal level.
    3
       The Income and Expenditure Survey was conducted by Statistics South Africa (Stats SA) between September 2005 and August 2006 (IES
        2005/2006). It is based on the diary method of capture and was the first of its kind to be conducted by Stats SA.
    4 
        The Census data is available for all SA households; where more detail is required the 10% sample of this data set is used. Choice of data set is
        highlighted where applicable.
    5
      An EA is the smallest piece of land into which the country is divided for enumeration, of a size suitable for one fieldworker in an allocated period
      of time. EA type is then the classification of EAs according to specific criteria which profiles land use and human settlement in an area.
    6
      Formal dwellings include house or brick structure on a separate stand, flat in a block of flats, town/cluster/semi-detached house, house/flat/room
      in backyard and a room/flatlet on a shared property.
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         WESTERN CAPE   research report

                 According to the 2001 Census, 143,000 households in the Western Cape (12% of households)
                 lived in an informal dwelling or shack not in a backyard in 2001 while 117,000 households (10%
                 of households) lived in enumeration areas that are characterised as Informal Settlements. Just
                 over 92,000 households lived in both.

                  cha rt   1

                    Cross-over of Type of Dwelling and Enumeration Area: western cape
                                           Total households who live in an informal settlement
                                           OR in a shack not in a backyard: 167 250

                                                                                      Main
                                                                                      dwelling:
                                                 EA: Informal       92 404            Informal
                                                 Settlement                           dwelling/
                                                 116 944            (8% of WC         shack not in
                                                                    households)       backyard
                                                 (10% of WC                           142 709
                                                 households)
                                                                                      (12% of WC
                                                                                      households)

                                               79% of households who live in EAs classified as Informal
                                               Settlements, live in shacks not in backyards

                                               63% of households who live in shacks not in backyards,
                                               live in EAs classified as Informal Settlement
                    Source: Census 2001.

                 Unlike census data, survey data does not provide an EA descriptor. However, surveys do provide
                 an indication of dwelling types, aligned with the main categories defined in the census. In the
                 absence of an EA descriptor for informal settlements, the analysis of survey data relies on a
                 proxy indicator based dwelling type, namely those who live in an ‘Informal dwelling/shack, not in
                 backyard e.g. in an informal/squatter settlement’.

                 Census data can provide an indication of the suitability of this proxy. According to the Census, of
                 those households in the Western Cape who live in EAs categorised as Informal Settlements, 79%
                 live in shacks not in backyards. A further 10% of households in these EAs live in formal dwellings,
                 6% live in shacks in backyards (it is not clear whether the primary dwelling on the property is itself
                 a shack) and 4% live in traditional dwellings.

                 Conversely the data indicates that 35% of all households in the Western Cape who live in shacks
                 not in a backyard do not, in fact, live in EAs categorised as Informal Settlements. 32% live in EAs
                 categorised as Urban Settlements and 1% live in Farm EAs.
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                                                                                   WESTERN CAPE             research report

 cha rt   2

   Breakdowns of Type of Dwelling and Enumeration Area: western cape

              Housing type breakdown for                                      EA breakdown for shacks
              Informal Settlement EAs                                         not in backyards
              (Western Cape)                                                  (Western Cape)

              Shack not                                                        Informal
              in backyard                Formal                                settlement
              79%                        dwelling                              65%                     Urban
                                         10%                                                           settlement
                                                                                                       32%

                                                 Shack in backyard 6%

                                           Traditional dwelling 4%
                                       Other 2%
                                                                                                    Other areas 2%
                                                                                                 Farm 1%
   Source: Census 2001.
   Note: Formal dwelling includes flat in a block of flats, dwelling on a separate stand, backyard dwelling, room/flatlet,
   and town/cluster/semi-detached house.

The analysis based on surveys using the dwelling type indicator ‘shack not in backyard’ to identify
households who live in informal settlements should therefore be regarded as indicative as there is
insufficient data in the surveys to determine whether these households do, in fact, live in informal
settlements as defined by the census, or by local or provincial authorities.

A further challenge with regard to survey data relates to the sampling frame. In cases where
survey sample EAs are selected at random from the Census 2001 frame, newly created or rapidly
growing settlements will be under-represented. Given the nature of settlement patterns, informal
settlements are arguably the most likely to be under-sampled, resulting in an under-count of
the number of households who live in an informal settlement. Further, if there is a relationship
between the socio-economic conditions of households who live in informal settlements and the
age of the settlement (as it seems plausible there will be) a reliance on survey data where there is
a natural bias towards older settlements will result in an inaccurate representation of the general
conditions of households who live in informal settlements. This limitation is particularly important
when exploring issues relating to length of stay, forms of tenure and access to services. A second
word of caution is therefore in order: survey data that is presented may under-count households
in informal settlements and is likely to have a bias towards older, more established settlements.

An additional consideration relates to sample sizes. While the surveys have relatively large sample
sizes, the analysis is by and large restricted to households who live in shacks not in backyards,
reducing the applicable sample size significantly. Analysis of the data by province or other
demographic indicator further reduces the sample size. In some cases the resulting sample can be
too small for analysis. In most cases this is not true for the Western Cape.
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            WESTERN CAPE               research report

          tab le   1
                         Sample sizes in the different surveys

                                                   Census 2001                                      Community                           Income and                           General
                                                                                                    Survey 2007                         Expenditure                         Household
                                                                                                                                       Survey 2005/6                       Survey 2009

                                  Total      Total                       Households          Total          Sample               Total           Sample              Total            Sample
                                  number of number of                    living in           survey         size for             survey          size for            survey           size for
                                  households households                  informal            sample         households           sample          households          sample           households
                                             living in                   settlement          size           living in            size            living in           size             living in
                                             shacks                      EAs                                shacks                               shacks                               shacks
                                             not in a                                                       not in a                             not in a                             not in a
                                             backyard                                                       backyard                             backyard                             backyard

          Western                 1 211 485          142 709             116 944             26 425         2 106                2 404          186                  2 530            243
          Cape

          City of Cape            778 696            110 148             89 126              14 318         1 484
          Town

         Source: Census 2001 (10% sample), Community Survey 2007, IES 2005/6, GHS 2009; Household databases.

                             A final consideration relates to the underlying unit of analysis. Survey and census data sources
                             characterise individuals or households rather than individual settlements. These data sources
                             provide estimates of the population who live in informal settlements as well as indications of
                             their living conditions. The data as it is released cannot provide an overview of the size, growth
                             or conditions at a settlement level7 although it is possible to explore household-level data at
                             provincial and municipal level depending on the data source and sample size.

                             The definition of a household is critical in understanding household level data. By and large
                             household surveys define a household as a group of people who share a dwelling and financial
                             resources. According to Statistics SA ‘A household consists of a single person or a group of people
                             who live together for at least four nights a week, who eat from the same pot and who share
                             resources’. Using this definition, it is clear that a household count may not necessarily correspond
                             to a dwelling count; there may be more than one household living in a dwelling. Likewise a
                             household may occupy more than one dwelling structure.

                             From the perspective of household members themselves the dwelling-based household unit may
                             be incomplete. Household members who share financial resources and who regard the dwelling
                             unit as ‘home’ may reside elsewhere. In addition, those who live in a dwelling and share resources
                             may not do so out of choice. Household formation is shaped by many factors, including housing
                             availability. If alternative housing options were available the household might reconstitute itself
                             into more than one household. Thus, while the survey definition of a household may accurately
                             describe the interactions between people who share a dwelling and share financial resources for
                             some or even most households, in other cases it may not. The surveys themselves do not enable
                             an interrogation of this directly.

                             7
                               It may be possible for Statistics South Africa to match EA level data from the 2001 Census to settlements to provide an overview of specific
                               settlements. Given that the Census data is ten years old, and that conditions in informal settlements are likely to have changed significantly since
                               then, the feasibility of this analysis was not established.
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2.2 Other data from Stats SA
A dwelling frame count was provided by Stats SA for the upcoming 2011 Census. The Dwelling
Frame is a register of the spatial location (physical address, geographic coordinates, and place
name) of dwelling units and other structures in the country8. It has been collated since 2005
and is approximately 70% complete. The Dwelling Frame is used to demarcate EAs for the 2011
Census9.

There are 153 sub-places in the Western Cape with at least one EA classified as ‘Informal
Residential’10, totalling 729 EAs (covering a total area of 26.56 square kilometres). There are
Dwelling Frame estimates for 122 (80%) of these ‘Informal Residential’ EAs, totalling 50,660
Dwelling Frames. Since the Dwelling Frame is only approximately 70% complete, and not all units
are counted within certain dwelling types, the count should not be seen as the official count of
dwellings or households within the EA Type.

2.3 National Department of Human Settlements
(NDHS) and LaPsis
The 2009/2010 Informal Settlement Atlas compiled by the NDHS indicates there are 201 informal
settlement polygons in the Western Cape. No household estimates are provided.

LaPsis (Land and Property spatial information system), an online system developed by the
HDA, builds on the data gathered by the NDHS and overlays onto it land and property data
including cadastre, ownership, title documents and deeds (from the Deeds Office), administrative
boundaries (from the Demarcation Board) and points of interest from service providers such as
AfriGIS11. The data indicates there are 189 informal settlements in the Western Cape; 51 of these
have a households and shack count.

2.4 Eskom’s Spot Building Count (also known as
the Eskom Dwelling Layer)
Eskom has mapped and classified structures in South Africa using image interpretation and manual
digitisation of high resolution satellite imagery. Where settlements are too dense to determine
the number of structures these areas are categorised as dense informal settlements. Identifiable
dwellings and building structures are mapped by points while dense informal settlements are
mapped by polygons.

Shape files provided by Eskom revealed 234 polygons categorised as Dense Informal Settlements
in the Western Cape, covering a total area of 17 square kilometres. The dataset does not
characterise the areas, nor does it match areas to known settlements. Latest available data is
based on 2008 imagery. Eskom is currently in the process of mapping 2009 imagery and plans to
have mapped 2010 imagery by the end of the year.

8
  Bhekani Khumalo (2009), ‘The Dwelling Frame project as a tool of achieving socially-friendly Enumeration Areas‘ boundaries for Census 2011,
  South Africa’, Statistics South Africa.
9
  A
    n EA is the smallest piece of land into which the country is divided for enumeration, of a size suitable for one fieldworker in an allocated period
   of time. EA type is then the classification of EAs according to specific criteria which profiles land use and human settlement in an area.
10
   The EA descriptor for informal settlements in the 2011 Census is ‘Informal Residential’; in 2001 the EA type was ‘Informal Settlement.’
   AfriGIS was given informal settlements data by the provincial departments of housing to create the map layers.
11 
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          WESTERN CAPE        research report

                  2.5 Community Organisation Resource Centre
                  (CORC)
                  CORC is an NGO that operates in all provinces across the country, with the aim of providing
                  support to ‘networks of communities to mobilise themselves around their own resources and
                  capacities’12. In order to provide a fact base to enable communities to develop a strategy and
                  negotiate with the State with regard to service provision and upgrading, CORC profiles informal
                  settlements and undertakes household surveys. These surveys have been conducted in areas across
                  the country by community members in these settlements. Community members are trained by
                  CORC and are provided with a basic stipend to enable them to do their work. Improvements are
                  made to questionnaires using community consultation and professional verification. This ensures
                  that comprehensive and relevant data is collected. CORC also gathers other settlement level
                  data on service provision including the number and type of toilets and taps. A list of settlements
                  that have been enumerated recently in the Western Cape is summarised below, together with
                  household and population estimates.

                   tab l e      2
                                       Enumeration of informal settlements by CORC in the Western Cape

                   Name of                        Region                 Date             Number of    Population
                   settlement                                                             households
                   Joe Slovo                      City of Cape Town      May 2009         2 748        7 946
                   Doornbach                      City of Cape Town      September 2009   1 855        4 555
                   Manenberg                      City of Cape Town      December 2009    3 139        1 322
                   Sheffield Road                 City of Cape Town      December 2009    149          504
                   TT Section                     City of Cape Town      February 2010    272          995
                   Barcelona                      City of Cape Town      March 2010       2 230        6 600
                   Europe                         City of Cape Town      October 2010     1 832        5 125
                   Los Angeles                    City of Cape Town      November 2010    325          876
                   Shukushukuma                   City of Cape Town      February 2011    306          718
                   Garden City                    City of Cape Town      February 2011    317          753
                   lungrug                        Stellenbosch           February 2011    1 876        4 088
                   la Rochelle                    Stellenbosch           February 2011    25           100
                   Schoopiehoegte                 Stellenbosch           February 2011    19           79
                   Devon valley                   Stellenbosch           February 2011    10           15
                   Gif                            Stellenbosch           February 2011    17           41
                   Kylmore                        Stellenbosch           February 2011    9            26
                   Meerlust                       Stellenbosch           February 2011    10           25

                  12
                       See http://www.sasdialliance.org.za/about-corc/
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                                                                                                  WESTERN CAPE               research report

2.6 Provincial data: Western Cape
The Western Cape Department of Human Settlements has commissioned a study of informal
settlements in the province, excluding the City of Cape Town. While findings are provisional and
unpublished, that data indicates there are 51,224 shacks spread across 230 informal settlements as
summarised below.

  tab le      3
                    Informal settlements in the Western Cape (excl. City of Cape Town)

                                                       Number of informal                      Number of informal dwellings
                                                       settlements                             in informal settlements
     Cape Winelands                                    72                                      21 652
     Central Karoo                                     1                                       17
     Eden                                              107                                     14 035
     Overberg                                          35                                      8 787
     West Coast                                        15                                      6 733
     Total (excl. City of Cape Town)                   230                                     51 224
Source: Western Cape Department of Human Settlements.

2.7 Municipal data: City of Cape Town
The City recently published a report estimating the number of households living in informal
settlements in the City of Cape Town Metropolitan Municipality13. The report uses the 2001
Census count of 110,000 as a baseline14 and applies a growth rate of 6% per annum to arrive at
a current estimate of 174,000 households who live in informal settlements in 2009. Various data
sources were used to derive this growth rate including historic rates of growth as per the 1996
and 2001 censuses, growth rates from the General Household Survey (various years), as well as
estimates based on aerial photography and physical dwelling counts done by the Solid Waste
Department as part of its area cleaning program. Projected figures determined by PDG for 2010
to 2019 have also been used. The official estimate of the number of households living in informal
settlements is summarised on the following page:

13
      ity of Cape Town (2010), Strategic Development Information and GIS Department, Estimated Number of Households Living in Informal
     C
     Settlements, Karen Small.
14 
     110,000 represents those households living in shacks not in backyards. Note that according to the Census there were 89 126 households living
     in EAs classified as Informal Settlement EAs in the City of Cape Town.
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          WESTERN CAPE        research report

                       cha rt   3

                         Estimated number of households in informal settlements:
                         City of Cape Town
                         Estimated                                                                                                                  Estimated
                        number of                                                                                                                   annual
                       households                                                                                                                   growth
                             (000s)                                                                                                                 rate %
                                                        6.0%
                            300 –                                                                                                                   – 6%
                                                                                                                                             260
                                                                                                                                    251
                                                                                                                            242
                            250 –                                                                                 233                               – 5%
                                                               4.6%                     206               224
                                                                      4.5%                       215
                                                                              4.4%     4.3%
                                                                                                4.2%     4.1%
                            200 –                                     190      198                                4.0%                              – 4%
                                                                181                                                        3.9%     3.8%
                                                        174                                                                                  3.7%

                            150 –                                                                                                                   – 3%
                                                110
                                       103
                            100 –                                                                                                                   – 2%

                              50 –                                                                                                                  – 1%

                                0–                                                                                                                  –0
                                      1996      2001 2009      2010   2011    2012     2013     2014    2015     2016     2017     2018     2019

                                             Estimated number of households (000s)                 Estimated annual growth rate %
                         Source: City of Cape Town (2010), Strategic Development Information and GIS Department, Estimated Number of Households
                         Living in Informal Settlements, Karen Small.
                         Note: Assumption that one informal dwelling is occupied by one household.

                  These figures are used across the City for planning purposes whenever the unit of analysis is the
                  household. However, in the case of provision of services (such as water and sanitation) household
                  counts or estimates are not used as these services are delivered to consumer units or delivery points
                  and not directly to households. For this reason an estimate of the number of informal dwellings or
                  shacks in the City is also important.

                  A report entitled ‘Informal Dwelling Count for Cape Town15 (1993 – 2005)’ is currently being updated
                  based on shack counts from aerial photography. The City of Cape Town’s Corporate GIS branch
                  (within the Information and Knowledge Management Department) has been responsible for these
                  shack counts since 2002. The Department commissioned the aerial photography and was responsible
                  for ortho-rectification16. At present the GIS department has informal shack count data up to June
                  2008 (see chart below). These 2008 shack counts will be incorporated into the updated report, due
                  to be released at the end of June 2011. A new shack count is currently underway using November
                  2009 aerial photography, to be completed in 201117. The GIS department completed new aerial
                  photography in March 2011. It will take a few months to deliver the rectified imagery; once this is
                  complete they will then immediately start the shack counting process again based on the March 2011
                  imagery18.

                  15
                      ity of Cape Town (2006), Information and Knowledge Management Department, Strategic Information Branch, Informal Dwelling Count for
                     C
                     Cape Town (1993-2005), Elvira Rodriques, Janet Gie and Craig Haskins.
                     Ortho-rectification is the process of geometrically correcting an aerial photograph so that distances are uniform and the photograph can be
                  16 

                     measured like a map.
                  17
                      As at the end of May, the GIS department was still in the process of comparing and reconciling their results with other departments.
                  18
                     The 2009 imagery was flown at a 15cm resolution and the 2011 imagery was flown at a 10-12cm resolution which will be very accurate.
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                                                                                                 WESTERN CAPE                research report

Shack counts are done using the Feature Analyst software, an automated process with around 80%
success rate, leaving a 20% count to be done manually (a point is captured on every shack)19. It is
noteworthy that the shack count estimates differ noticeably from the household count estimates
summarised above. Shack counts are generally an undercount due to the difficulty of determining
boundaries of every structure particularly when they are built right next to each other and are located
under vegetation.

   cha rt     4

       Shack counts based on aerial imagery: City of Cape Town
        Number
       of shacks
          (000s)
           140 –                                                                                                                134

           120 –                                                                                                116
                                                                                                 109
                                                                                 104
                                      97            95             98
           100 –
                      84
            80 –

            60 –

            40 –

            20 –

             0–
                   2002 Feb         2003 Jul    2004 Jan       2005 Dec    2006 Jun            2007 Jan      2007 Sep        2008 Jun
                                                                    Year/month
       Source: City of Cape Town.

The City of Cape Town is currently developing a GIS Informal Settlement project. The purpose of this
project is to collate the numerous sources of data relating to informal settlements available to the
City (including shack counts from aerial photography, physical dwelling counts, and survey household
estimates) and to develop more up-to-date, reliable household and dwelling figures.

Each department involved in the project will collect and capture their own data sets, before sending
the data to the Corporate GIS branch to ensure all the standards have been adhered to. All data sets
will have Meta Data attached and will include the following:
• Settlement name
• Settlement boundaries
• Number of settlements
• Number of shacks per settlement
• Number of doors per settlement needed for refuse collection
• All utility services such as stand pipes, number of toilets, water pipes
• Health data
• Number of households

There will also be reports of previous studies done in specific settlements. The project is expected to
be completed by December of this year (2011).

   To determine whether an informal settlement is serviced or not, the GIS branch uses a cadastral overlay which incorporates property ownership,
19 

   road networks and so on. This information is then verified with the City‘s service departments.
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          WESTERN CAPE        research report

          Part 3

          The number and size of
          informal settlements in
          the Western Cape
                  3.1 Estimating the number of households who live
                  in informal settlements
                  According to the Census, 117,000 households in the Western Cape (10% of households in the
                  province) lived in EAs classified as Informal Settlements in 200120. 78% lived in enumeration
                  areas classified as Urban Settlements and a further 9% in EAs classified as Farms. Western Cape
                  accounts for 11% of all households in informal settlement EAs in the country (it accounts for
                  10% of all households overall).

                  Census data at a municipal level is summarised below for Western Cape.

                   tab le      3
                               4
                                     Households living in Informal Settlement EAs in the Western Cape

                   Municipality                                     Number of HH in Informal % of HH in municipality/
                                                                    Settlement EAs           province that live in Informal
                                                                                             Settlement EAs

                   Cape Winelands                                   10 889                                       6.8%
                   (formerly Boland)

                   Central Karoo                                    0                                            0%

                   City of Cape Town                                89 126                                       11.4%

                   Eden                                             9 512                                        7.9%

                   Overberg                                         4 972                                        8.5%

                   West Coast                                       2 445                                        3.1%

                   Western Cape                                     116 944                                      9.7%
                  Source: Census 2001.

                  According to the 2007 Community Survey, 110,000 households (approximately 8% of households
                  in the Western Cape) live in shacks not in backyards, down from 143,000 households (12%
                  of households) in 2001 as reported by the Census. In terms of absolute numbers there was
                  a decrease of around 33,000 in the number of households living in shacks not in backyards
                  between 2001 and 2007.
                  20
                       With regards to settlement type, Informal Settlement is one of the ten EA descriptors used.
page 15
                                                                                           WESTERN CAPE          research report

According to the 2007 Community Survey 9% of households in shacks not in backyards live in
this province (11% of all households in the country live in this province).

Survey-based estimates of the number of households who live in shacks not in backyards vary,
sometimes quite significantly. For instance, in 2007 the Community Survey estimates around
110,000 households living in shacks not in backyards in the Western Cape while the 2007 GHS
estimates around 143,000 such households. Estimates based on the GHS indicate an annual
growth of 2% between 2002 and 2009, while estimates based on the Census and Community
Survey indicate an annual growth of -4% between 2001 and 2007. A comparison of data from
the census and various surveys is summarised below.

chart    5

   Households by dwelling type: western cape
Number of
households
     (000s)
   1 600 –                                                                                                                – 1 600
                                                                                                    1 478
                                                                                           1 428
                      1 369                                                        1 379                                  – 1 400
   1 400 –                                                       1 286 1 333                                3%
                               2%                                                                                1 272
              1 209                                     1 244
                                      1 166 1 204                                                                         – 1 200
   1 200 –

     300 –                                                                                                                – 300

     200 –                                                                                                                – 200

     100 –                                                                                                                – 100
               143    110     -4%      118      170      125      148      143      143      124     134    2%    148

              12%      8%              10%      14%      10%     12%      11%      10%       9%      9%           12%
        0–                                                                                                                –0
              Census CS                GHS     GHS      GHS      GHS      GHS      GHS      GHS     GHS            IES
               2001 2007               2002    2003     2004     2005     2006     2007     2008    2009         2005/6
              2001: Number of households in Informal Settlement EAs: 116 944 (10%)
                 Total households
                        HH lives in shack not in backyard

  Source: Census 2001 (full database), Community Survey 2007, IES 2005/6, GHS 2002-2009 (reweighted) .
  Note: Dashed line indicates new sample designs for GHS (2002-2004, 2005-2007, 2008-2009).
page 16
          WESTERN CAPE        research report

                   According to the 2007 Community Survey, at 84,000 the City of Cape Town has the highest
                   number of households living in shacks not in backyards in the Western Cape. The chart below
                   summarises municipal-level data for all shacks, including those not in backyards and those in
                   backyards.

                 chart    6

                 Households living in shacks (by municipality): western cape
                                Shack not in backyard                                              Shack in backyard
                                % of HH living in shacks not in backyard                           % of HH living in shacks not in backyard
                                 9%       9%        5%       5%     2%       1%                     6%      9%       5%       5%     3%        1%
                 Number of                                                            Number of
                 households                                                           households
                     (000s)                                                               (000s)
                       90 –                                                                 60 –
                                 84                                                                 56
                        80 –
                                                                                           50 –
                        70 –

                        60 –                                                               40 –

                        50 –
                                                                                           30 –
                        40 –

                        30 –                                                               20 –
                                                                                                            13
                        20 –
                                          12                                               10 –                      9
                        10 –                         9
                                                                                                                              3       3
                                                             3
                                                                     1        0                                                                 0
                         0–                                                                  0–
                                City of            Cape             West                        City of             Cape             West
                              Cape Town          Winelands          Coast                     Cape Town           Winelands          Coast
                                          Eden           Overberg           Central                        Eden           Overberg            Central
                                                                            Karoo*                                                            Karoo*
                 Source: Community Survey 2007 HH.
                 * Sample size is less than 40.
page 17
                                                                                             WESTERN CAPE            research report

            Data from the 2001 Census and the 2007 Community Survey can be used to explore growth rates
            for households living in shacks at a municipal level. This data is summarised in the bubble chart
            below. The size of the bubble indicates the size of the segment in 2007 while its location along
            the x-axis indicates the annual rate of growth. Of course in some of these areas high growth has
            occurred off a very low base. It is of interest that in most areas, growth rates for backyard shacks
            far exceeds that of shacks not in backyards. While this may reflect increased official determination
            to prevent the expansion of informal settlements it may also reflect sampling biases; new informal
            settlements may not have been surveyed in 2007.

chart   7

 Households living in shacks (by municipality) – CAGR: western cape
 Compound annual growth (2001 -2007)
 (Household lives in a shack not in a backyard, household lives in a shack in a backyard, Western Cape)

                                                                                                            City of Cape Town
                                                                                                                  56 306
                                                                                                                    9%
                             City of Cape Town                     Eden
                                   84 300                         12 318                        Overberg
                                     -4%                            1%                           2 833
        West                                                                                      7%
        Coast
        1 293                                                                                                                    Eden
                                                     Central
         -9%                                         Karoo*                                                                     12 919
                                                      107                                                                        24%
                                                      -1%                                         Cape
                         Cape                                                                   Winelands
   Overberg                                                                West
                       Winelands                                                                 9 493
    3 259                                       Central                    Coast
                        8 785                                                                     7%
    -10%                                        Karoo*                     2 644
                         -6%
                                                 152                        2%
                                                 -3%

        -9%               -6%              -3%              0%                 3%               6%                9%             24%
    HH lives in shack not in backyard        HH lives in backyard shack

 Source: Census 2001 and Community Survey 2007.
 Note: 2005 provincial borders have been used.
 Note: CAGR = Compound Annual Growth Rate (between 2001 and 2007).
 *Sample size is less than 40

            3.2 Estimating the number of informal settlements
            While survey and census data provide an estimate based on households, various data sources
            provide estimates of the number of informal settlements. The LaPsis data estimates 189 informal
            settlements across the province while the Atlas data set from the NDHS indicates 201 informal
            settlement polygons. Provisional research from the Western Cape Department of Human
            Settlements indicates 230 settlements, excluding the City of Cape Town.

            Available data sources at a ‘settlement’ level are summarised below together with household
            level data based on the 2001 Census and the 2007 Community Survey. Note that settlements are
            identified and defined differently in these data sources.
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                WESTERN CAPE                   research report

  tabl e    5
                  Estimates and/or counts of informal settlements and households
                                               Number of informal settlements                                           Number of households in informal                       Number of shacks in
                                                                                                                                  settlements                                  informal settlements

                    LaPsis:     Atlas:              Stats SA:         Eskom:        Provincial Municipal Census                Census        Community Municipal               Provincial   Municipal
                    Informal    Informal            Sub places        Polygons      estimates estimates 2001: HH               2001: HH      Survey 2007: estimates            estimates    estimates
                    settlements settlement          with at least     classified                         in informal           in shacks     HH in shacks
                                polygons            one EA            as ‘Dense                          settlement            not in        not in back-
                                                    classified as     Informal’                          EAs                   backyards     yards
                                                    ‘Informal
                                                    Residential’

  Cape              -                    30                                         72                          10 889         12 381        8 785                             21 652
  Winelands

  Central           -                                                               1                           0              113           107                               17
  Karoo

  City of   139                          139                                                      298           89 126         110 148       84 300            173 600                      134 055
  Cape Town

  Eden              16                   25                                         107                         9 512          11 850        12 318                            14 035

  Overberg          31                   3                                          35                          4 972          5 923         3 259                             8 787

  West Coast 3                           4                                          15                          2 445          2 294         1 293                             6 733

  Western           189                  201        153               234           230                         116 944        142 709       110 062                           51 224
  Cape

 * Households in informal settlements to be upgraded between 2010/11 and 2013/14 (Outcome 821): 45,360 in Western Cape.
 Note: Provincial estimates from the Western Cape exclude the City of Cape Town.

                                  While both LaPsis and Atlas databases rely on provincial data and should therefore be aligned with
                                  provincial estimates, there are often differences. For instance, the City of Cape Town estimates 298
                                  informal settlements while both LaPsis and Atlas reflect 139 in this municipality. The City of Cape
                                  Town estimates 174,000 households living in informal settlements while the 2007 Community
                                  Survey indicates 84,000 households living in shacks not in backyards and the 2001 Census reflects
                                  89,000 households living in enumeration areas classified as informal settlements.

                                  These differences most probably arise as a result of different data currency; provincial or municipal
                                  estimates may have been collated more recently than national estimates. Variances may also
                                  reflect a lack of alignment regarding the definition of an informal settlement as well as different
                                  data collection methodologies.

                                     Outcome 8 relates to Sustainable Human Settlements and Improved Quality of Life. National government has agreed on twelve outcomes as a
                                  21 

                                     key focus of work between 2010/11 and 2013/14.
page 19
                                                                     WESTERN CAPE       research report

Part 4

Profiling informal
settlements in the
Western Cape
    The analysis of survey data investigates the characteristics of the dwellings and the profile of
    households and individuals living in shacks not in backyards. As noted this variable is a proxy
    for households who live in informal settlements. Where available, Census 2001 data relating
    to households who live in Informal Settlement EAs has been summarised in the introductory
    comments at the start of each sub-chapter.

    4.1 Basic living conditions and access to services
    In 2001, 16% of Western Cape households living in informal settlement EAs had piped water
    in their dwelling or on their yard. A further 39% could obtain piped water within 200 metres
    of their dwellings. 38% had access to piped water in excess of 200 metres from their dwellings
    (there is no indication of how far away the water source is) while 6% had no access at all. 23% of
    households in informal settlement EAs had flush toilets, 6% used pit latrines, 26% used bucket
    latrines and 1% had chemical toilets; the remaining 44% had no access to toilet facilities. 31%
    of households in informal settlement EAs used electricity for lighting and 75% had their refuse
    removed by the local authority.
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          WESTERN CAPE     research report

                  Key trends relating to access to services for households living in shacks not in backyards are
                  summarised in the chart below.

                   cha rt    8

                     Access to services: Household lives in shack not in
                     backyard in western cape
                                 Toilet facility                                                     Source of drinking water
                          %                                                                 %
                         100 –                                                             100 –
                                                                                                        4%
                                                                                                                                9%
                                                                                                        6%                            1%
                                                           28%
                          80 –     38%                                                       80 –                               19%
                                                                                                        24%
                                                            5%
                                                            4%
                          60 –              1%
                                   4%                                                        60 –
                                                           21%
                                   20%
                          40 –                                                               40 –
                                                                                                        66%                     71%

                          20 –     36%                     42%
                                                                                             20 –

                           0–                                                                 0–
                                 Census                Community                                      Census                Community
                                  2001                 Survey 2007                                     2001                 Survey 2007
                                    Flush                                                                Piped water in dwelling
                                    Bucket latrine                                                       Other**
                                    Pit latrine                                                          Piped water in yard
                                    Other*                                                               Piped water on community stand
                                    None

                                 Energy used for lighting                                            Refuse collection
                          %                                                                 %
                         100 –              1%                      1%                     100 –         4%                     4%
                                   12%                      8%                                           5%                     9%
                                                                                                         8%
                                                                                                                                7%
                          80 –                                                               80 –        8%
                                                                                                                                8%
                                   42%
                                                           56%
                          60 –                                                               60 –

                          40 –                                                               40 –       75%
                                                                                                                                73%

                          20 –     45%                                                       20 –
                                                           35%

                           0–                                                                 0–
                                  Census               Community                                       Census               Community
                                   2001                Survey 2007                                      2001                Survey 2007
                                    Paraffin                                                              Removed by local authority less often
                                    Electricity                                                           Communal refuse dump
                                    Candles                                                               No rubbish disposal
                                    Other***                                                              Own refuse dump
                                                                                                          Removed by local authority at least
                                                                                                          once a week
                     Source: Census 2001 and Community Survey 2007 HH.
                     * Other toilet facilities includes Chemical toilet and Dry toilet facility.
                     ** Other water source incudes Borehole, Flowing water, Stagnant water, Well, Spring and Other.
                     *** Other energy sources includes Gas, Solar and Other.
                     Note: In the 2007 CS, refuse removed by local authority also includes refuse removed by private company.
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                                                                                                     WESTERN CAPE                research report

Access to services appears to have improved between 2001 and 2007; the proportion of
households who live in shacks not in backyards who say they have no toilet facilities declined from
38% in 2001 to 28% in 2007. Drinking water access improved slightly while use of electricity for
lighting increased from 42% to 56% between 2001 and 2007.

As has been highlighted, a word of caution is required in interpreting this data given potential
biases in the sample design towards more established settlements where service provision is
better.

4.2 Profile of households and families
In 2001, 26% of Western Cape households living in informal settlement EAs were single person
households. The average household size was 3.0. 19% of households were living in over-crowded
conditions. The majority of households were headed by males (64%).

According to the 2007 Community Survey, 18% of households living in shacks not in backyards
comprise a single individual. While significant, it is lower than the national average for households
living in shacks not in backyards where 23% comprise a single individual. According to the
Community Survey 41% of Western Cape households living in shacks not in backyards comprise
four or more persons. The average household size of households living in shacks not in backyards
in 2007 is 3.4 (in 2001 this was 3.2), compared to 3.8 in 2007 for those living in formal dwellings
(up from 3.7 in 2001). 23% of households living in shacks not in backyards live in over-crowded
conditions22.

Household heads in the Western Cape in shacks not in backyards are also noticeably younger
than those in formal dwellings; 48% are under the age of 35 compared to 18% in households
who live in formal dwellings.

132,000 children under the age of 18 live in shacks not in backyards corresponding to 36% of
the total Western Cape population who live in such dwellings. According to the Community
Survey 57% of households in shacks not in backyards have one or more children.

Data from the GHS can be used to explore the relationships between household members in more
detail. While the Community Survey finds that 18% of households are single person households
as noted above, the 2009 GHS indicates that roughly 29% of households living in shacks not
in backyards comprise single persons. That survey indicates that 22% of households living in
shacks not in backyards are nuclear families comprising a household head, his or her spouse and
children only. Single parent households, at 5% of households in shacks not in backyards, are not
particularly noticeable. 37% of households who live in shacks not in backyards contain extended
family members or unrelated individuals23. According to the GHS, the average household size for
shacks not in backyards has steadily decreased from 3.5 in 2005 to 3.0 in 2009.

22
      household is considered over-crowded if there are more than two people per room. It is possible that this estimate is understated in the case
     A
     where more than one household inhabits the same dwelling.
23
     Compared to Western Cape households who live in formal housing, the household composition of households in shacks not in backyards differs
      most noticeably with respect to single person households and households that contain nuclear families. 30% of Western Cape households
      in formal dwellings comprise a nuclear family while 18% comprise a single individual. 30% comprise extended family members or unrelated
      individuals and 9% single parents – statistics which are not very different from those relating to households living in shacks not in backyards.
page 22
          WESTERN CAPE        research report

                  4.3 Income, expenditure and other indicators of
                  wellbeing
                  4.3.1 Income
                  While both the 2001 Census and the 2007 Community Survey gather some data on income, the
                  quality of this data is relatively poor. A far more reliable source of this data is the 2005/6 Income
                  and Expenditure Survey (IES). That data source indicates that 84% of Western Cape households
                  who live in shacks not in backyards have a household income of less than R3,500 per month
                  measured in 2006 Rand terms. Inflating incomes to 2010 Rands (and assuming no real shift in
                  income) 72% of households living in shacks not in backyards earn less than R3,500 per month
                  in 2010 Rand terms.

                  As expected, the survey indicates that the proportion of households living in shacks not in
                  backyards declines as incomes increase. Around one in five of all households earning less than
                  R3,500 (in 2006 Rands) live in shacks not in backyards.
                                               ch a rt   9

                                                Proportion of shacks not in backyards
                                                by income: western cape
                                                    % of
                                               households
                                                       25 –
                                                                  22%
                                                                                          20%
                                                       20 –

                                                       15 –

                                                       10 –

                                                         5–                                                4%

                                                         0–
page 23
                                                                                                    WESTERN CAPE              research report

4.3.2 Expenditure
According to the IES, the proportion of households living in shacks not in backyards that transfer
maintenance or remittances26 at 47% is well above the average for Western Cape households as
a whole (24%)27.

4.4 Age of settlements and permanence
In 2001, the majority of households living in informal settlement EAs in the Western Cape (65%)
were living there five years previously. In 2001, 29% of households living in informal settlement
EAs claimed to own their dwelling; 9% rented and 61% occupied the dwelling rent-free. 12% of
households in informal settlement EAs had another dwelling aside from their main dwelling.

Analysis of data from the 2007 Community Survey indicates that the majority of people living in
a shack not in a backyard in 2007 had been living there for an extended period of time. Across
the province, 67% said they had not moved since 2001. Of those who said they had moved
since 2001, 59% moved from within the province and 36% moved from the Eastern Cape.
Cross province migration into the Western Cape is far more noticeable than in other provinces.
For instance, in the Eastern Cape, only 4% of those living in shacks not in backyards that had
moved since 2001 were from other provinces.
 cha rt       1 0

      Year and province moved from: western cape
      Year person moved into this dwelling                                 Province lived in before moving
      (Lives in an informal dwelling/shack not in backyard,                to this dwelling*
      Western Cape)                                                        (Lives in an informal dwelling/shack not in
                                                                           backyard, moved in after 2001, Western Cape)

                                                                                                                             LP
                                                                                                 Outside RSA
                                                      2%                                                                    0%
                                                                                                     1%

                                                  5%                                                                     GA MP
                                                                                                             NW
                                                                                                                         2% 0%
                     67%                           4%                                                        0%
                                                   3%                                                               FS
                                                                                                                   0%           KZN
                                                 6%                                            NC
                                                                                                                                1%
                                                                                               0%
                                       13%

                                                                                                               EC
                                                                                                               36%
                                                                                      WC
              2007         2001-2003                                                  59%
              2006         Born after October 2001
              2005         Have not moved since October 2001
              2004                                                                        Source: Community Survey 2007 Persons.
                                                                                          Note*: Sample sizes for some provinces less than 40.

According to the 2009 GHS, 96% of Western Cape households living in shacks not in backyards
indicate that they were living in a shack not in backyard five years previously28. The survey does
not indicate whether the dwelling or the broad location of the dwelling is the same.

There may be some basis for a degree of scepticism when looking at this data. As noted in the
overview of data sources, there may well be a sampling bias towards older, more established
settlements. In addition, if households in informal settlements believe there is a link between the
duration of their stay in that settlement and their rights either to remain in the settlement or to
26
     Both cash and in kind payments.
27
     For single person households living in shacks not in backyards in the Western Cape, this proportion is 70%.
28
     For all South African households in shacks not in backyards, the proportion is 89%.
page 24
          WESTERN CAPE      research report

                  benefit from any upgrading programmes they may well have an interest in over-stating the length
                  of time they have lived in their dwellings.

                  The 2009 GHS asks respondents when (i.e. in what year) their dwellings were originally built29.
                  The data indicates that 21% of shacks not in backyards were built within the past five years.
                  At first glance this would appear to be at odds with the statistic cited above that 96% of households
                  living in shacks not in a backyard were living in that same type of dwelling five years ago.

                  However, as already noted, that data does not necessarily imply the household lives in the same
                  dwelling, or in the same location. Further, given the poor condition of many shacks (discussed
                  in Section 4.6 below) and the vulnerability of many settlements to fire and flooding, it is entirely
                  plausible that many shacks are completely rebuilt frequently30.

                  The survey data indicates that shacks not in backyards tend to be older than backyard shacks
                  as summarised below. This corresponds to trend data relating to main dwelling types which
                  indicates a higher growth rate for backyard shacks compared to shacks not in a backyard.
                  As noted this may reflect sampling biases within the data.

                   cha rt     1 1

                       Year current dwelling was originally built: western cape
                       Shack not in backyard                                                                       42%

                                                                                    29%
                                                                                                                                              21%

                                           9%*

                       1940                                       1990                               2000                      2005                       2009
                                                                                                                                              49%
                       Shack in backyard
                                                                                                                   37%

                                                                                   11%*
                                           4%*

                       1940                                       1990                               2000                      2005                       2009

                       House/dwelling on separate stand
                                           54%

                                                                                    25%

                                                                                                                   13%
                                                                                                                                               4%

                       1940                                       1990                               2000                      2005                       2009
                       Source: GHS 2009 HH.
                       Note: The survey states that if the year is not known, the best estimate should be given.
                       Although it is not shown here, this accounts for the very few ‘unspecified’ responses.
                       * Sample size small (< 40).

                  29
                     It would be unsurprising if many households, particularly those that rent their dwellings or those that occupy older dwellings, do not know
                      when their dwellings were constructed. In such cases, the questionnaire directs respondents to provide a best estimate. There is no indicator in
                      the data as to whether the household has estimated the answer or knows the answer.
                  30
                      The exact survey question is: ‘when was this dwelling originally built?’. Enumerators are instructed to ‘mark the period in which the dwelling
                       was completed, not the time of later remodeling, additions or conversions. If the year is not known, give the best estimate.’ It is not entirely
                       clear how a household who has recently rebuilt its shack following its destruction in a fire would answer the question. Does the year in which
                       this dwelling was originally built refer to the original dwelling or to the rebuilt dwelling?
page 25
                                                                                      WESTERN CAPE     research report

Data on tenure status can also provide an indication of permanence. The primary survey categories
include rental, ownership (with or without a mortgage or other form of finance) and rent free
occupation. Survey data on tenure from various data sources is summarised below. Broadly
speaking, data from the 2001 Census, the 2007 Community Survey and the 2009 General
Household Survey paint a similar picture. These sources indicate that while rental is relatively
uncommon for shacks not in backyards (in contrast to backyard shacks where rentals dominate),
a sizeable proportion of households say they own their dwelling.

cha rt   1 2

   Dwelling tenure across different surveys: western cape

                    HH lives in an informal dwelling/                        HH lives in an informal dwelling/
                    shack not in backyard: Western Cape                      shack in backyard: Western Cape
 Total number
 of households        142,709       110,062          133,952                    47,784       84,346    119,421

 % proportion
 of households
         100 –                                                       100 –
                                       8%             4%*
                       12%

           80 –                                                       80 –
                                                                                 43%
                                                      45%                                     52%        52%
                                      53%
           60 –        57%                                            60 –

           40 –                                                       40 –       28%
                                                                                                        13%*
                                                                                              25%
                                                      45%
           20 –                       35%                             20 –
                       31%                                                                              32%
                                                                                 28%
                                                                                              21%

               0–                                                      0–
                    Census 2001     CS 2007         GHS 2009                 Census 2001     CS 2007   GHS 2009

                       Owned          Occupied rent-free          Rented
   Source: Census 2001 (10% sample), Community Survey 2007, GHS 2009; Household databases.
   Note: The breakdown of ownership does not include ‘Other’ due to small sample sizes.
   * Sample size is less than 40.

Data on tenure status can be difficult to interpret. On the one hand those who say they own
their dwellings may be communicating a strong sense of belonging and permanence despite the
informal nature of the dwelling. On the other hand, they may have title, or official recognition.
Alternatively those who say they own their dwellings may simply be referring to their ownership
of the building materials used to construct their dwellings. While some respondents who own
the physical materials used to build their dwellings, but not the land on which it is located, may
indicate they occupy their dwellings rent free, others may justifiably indicate that they own their
shacks. Data on rentals is also difficult to interpret. Some households who say they rent their
shacks may own the building materials but rent the land; if they were to be evicted from the land
they would still retain possession of the dwelling materials. Other renter households may rent
both the structure and the land.

Ownership of other dwellings may be an indication of non-permanence and is therefore of
interest. According to the 2009 GHS, for the province as a whole, very few households (roughly
4% of households) say they have another dwelling aside from their main dwelling.
page 26
          WESTERN CAPE   research report

                  4.5 Housing waiting lists and subsidy housing
                  According to the 2009 GHS, 48,000 (36%) of Western Cape households in shacks not in backyards
                  have at least one member on the waiting list for an RDP or state subsidised house. Conversely,
                  of the 140,000 Western Cape households with at least one member on the housing waiting list,
                  34% live in shacks not in backyards; 26% live in a dwelling/structure on a separate stand and
                  22% in a backyard shack. More than 50% of the households in shacks not in backyards have
                  been on the waiting list for five or more years.

                  Data from the 2009 GHS explores whether any household members have received a government
                  housing subsidy. For Western Cape households living in shacks not in backyards a very low
                  percentage (2%) report having received a subsidy. Of course many households living in informal
                  settlements that have received a subsidy are unlikely to own up to this.

                  Data from the same survey can be used to explore how many households who live in shacks not
                  in backyards might be eligible to obtain a subsidised house. Criteria include a household income
                  of less than R3,500 per month, a household size of more than one individual, no ownership of
                  another dwelling, and no previous housing subsidy received. Using these criteria, around 57,000
                  Western Cape households living in shacks not in backyards (42% of households in this category)
                  appear to qualify to be on the waiting list.

                  When interpreting this data it is important to recall the definition of households used in surveys.
                  Households are not necessarily stable units nor are they necessarily comprised of individuals who
                  would choose to live together if alternative accommodation was available. It is therefore plausible
                  that some households may reconstitute themselves if one current household member were to
                  obtain a subsidised house.

                  4.6 Health and vulnerability
                  The 2009 GHS indicates that approximately 11% of individuals who live in a shack not in
                  a backyard in the Western Cape say they have suffered from an illness or injury in the past
                  month. This is lower than the disease burden reported by those living in formal dwellings (18%).
                  Of course the subjective ‘norm’ may differ across communities. More affluent individuals living
                  in formal dwellings in well-serviced neighbourhoods who are generally in good health may have
                  a lower ‘sickness threshold’; the symptoms they experience when they report being ill may not
                  warrant a mention by an individual whose immunity is generally compromised. It should also
                  be noted that there may be an age skew; those who live in informal settlements are on average
                  younger. Holding other things constant, one should therefore expect a lower burden of disease
                  for those living in shacks not in backyards.

                  Those living in shacks not in backyards are more likely than those who live in formal dwellings
                  to use public clinics as their primary source of medical help. About 81% walk to their medical
                  facility and almost everyone takes less than 30 minutes to get there using their usual means of
                  transport (93%). This is not noticeably different from those who live in formal dwellings. Once
                  again a word of caution is in order; the data may be biased towards better established dwellings
                  that have access to facilities.
page 27
                                                                                              WESTERN CAPE              research report

cha rt   1 3

  Access to health facilities: western cape
          Primary source of      Usual means of                                                      Time taken to travel
          medical help           transport to health                                                 to health facility
                                 facility                                                            using usual means
  Population                                                                                         of transport
  totals in
  segment    474,387           4,385,822                   474,387        4,385,822                  474,387      4,385,822
      % of
      people
      100 –       4%* 1%*                                           2%*                                6%            8%
                                                            17%
         80 –                      38%                                                                32%
                                                                             40%
                                                                                                                    37%

         60 –                             1%
                                   4%
                  77%
                                                                             15%
         40 –                                               81%
                                   37%
                                                                                                      61%
                                                                                                                    53%
         20 –                                                                41%

                  18%              19%
          0–
                 Shack not        Formal                  Shack not         Formal                   Shack not      Formal
                in backyard      dwelling                in backyard       dwelling                 in backyard    dwelling
                     Private doctor/specialist                 Walking
page 28
          WESTERN CAPE         research report

                  to the durability of the dwelling structure. According to the GHS, 76% of households living in
                  shacks not in backyards live in dwellings where the conditions of the walls or the roof is weak or
                  very weak. This is higher than for households who live in backyard shacks (66% have weak or very
                  weak walls or roofs) and formal housing31 (where the corresponding statistic is 16%).

                  4.7 Education
                  In 2001, 10% of Western Cape adults aged 18 and above living in informal settlement EAs had
                  no schooling; 14% had a Matric and a further 2% completed Technikon, University or other
                  Post Matric.

                  According to the 2009 GHS, 77% of adults aged 18 and above living in shacks not in backyards
                  have not completed matric. 94% of children aged 5 to 18 who live in shacks not in backyards go
                  to school, equal to the provincial average32.

                  89% of school-going children who live in shacks not in backyards walk to school. As has been
                  highlighted above, a word of caution is required in interpreting this data given potential biases in
                  the sample design towards more established settlements. There is no data to determine whether
                  these schools were built to service a newly created informal settlement or whether the school
                  was originally built to meet the needs of more formal communities in the vicinity. In the case of
                  the latter, the existence of a school may have been part of the impetus for the creation of an
                  informal settlement.

                   cha rt       1 4

                        Usual mode of transport to educational facility by children
                        aged 5-17 (Live in shacks not in backyard): western cape

                                                                                                                                       Time taken to
                                                                                                                           15 min+     educational
                                                                                                                            29%*       facilities: walking
                                                                                                                                       % of walking children

                                                       9 649*                       79 681
                                                        11%                          89%
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